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8355 East Hartford Drive Suite 105, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2002-01-01 |
Branch Locations
8355 East Hartford Drive Suite 105, Scottsdale, AZ 85255 • United States
1910 S Stapley Dr. Suite 221 Office 247, Mesa, AZ 85204 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Trek Financial | Scottsdale | AZ | 01/1996 | 10/2022 |
| World Equity Group, Inc. | Arlington Heights | IL | 05/2015 | 05/2019 |
| Trek Financial | Scottsdale | AZ | 10/2022 | Present |
DBA Captain Wealth Management Investment advisory services since 01/2026 DBA WEALTH MANAGEMENT STRATEGIES; STEPHEN CAPTAIN LLC, EXPENSE MANAGEMENT FOR BAUER, CAPTAIN AND JOHNSON, MANAGER SINCE 1/2005; VARIOUS INSURANCE COMPANIES; LAKE POWELL LLC, MEMBER OF LLC FOR RECREATIONAL PROPERTY OWNERSHIP SINCE 07/2006;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-04-28 |
| S63 | Uniform Securities Agent State Law Examination | 1990-12-17 |
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